THE CORPORATIONS LAW

CHAPTER 7 - SECURITIES

PART 7.2 - SECURITIES EXCHANGES AND STOCK MARKETS

SECTION 769C   ANNUAL REPORT BY SECURITIES EXCHANGE ABOUT COMPLIANCE WITH ONGOING REQUIREMENTS  

769C(1)  [Time limit for report]  

Within 3 months after the end of each of its financial years, a securities exchange must prepare and give the Commission a report on the extent to which the exchange complied with the requirements of section 769A during the financial year. The Commission must give the report to the Minister.

769C(2)  [Documents accompanying report]  

The report must be accompanied by:

(a)  any other information and statements prescribed by the regulations; and

(b)  any audit report required by the Minister under subsection (3).

769C(3)  [Audit]  

The Minister may require a securities exchange to obtain an audit report on the annual report and on any information or statements required under paragraph (2)(a). The audit report must be prepared, as the Minister requires, either by the Commission or by some other person or body nominated by the Minister.